Fri, Mar 22, 2019
Regulatory Focus – March 2019
In this edition of Regulatory Focus, the experts in Duff & Phelps’ UK Compliance and Regulatory Consulting team, provide a detailed synopsis of the latest news and publications issued by the Financial Conduct Authority during February 2019.
Highlights include:
- An update on Brexit planning, proposals, consultations and guidance on European Union departure
- Appointment of the new Chair of the Financial Services Consumer Panel
- Banking leaders’ insight into adopting the Senior Managers and Certification Regime
- Andrew Bailey’s speech on the impact of MiFID II on research
- Tax issues and news
- Recent Enforcement Actions
Financial Services Compliance and Regulation
Financial Services Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
Compliance Consulting
Compliance Consulting
Expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker-dealers.
European Compliance Services
European Compliance Services
Comprehensive compliance and regulatory support for EU firms.
UK Compliance Services
UK Compliance Services
Comprehensive compliance and regulatory support for FCA authorized firms.